Enforcement Actions

The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.

View Dispositions
View Opinions and Adjudicatory Orders

Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals

Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies

Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices

See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)

Date ENFORCEMENT ACTIONS
Florida Federal Court Sanctions CEO and Former Employees of Miami Commodity Firm for Defrauding Investors Through False Solicitations of Energy Futures and Options
U.S. Commodity Futures Trading Commission Files Action Against Gregg R. Amerman of Alpharetta, Georgia, and Three Companies that He Controlled; Complaint Alleges Misappropriation of More Than $675,000 in Customer Funds
California Federal District Court Imposes Restitution of $13.8 Million and Penalties of $1.5 Million Against Robert Joseph Beasley and Longboat Global Funds Management, LLC in Hedge Fund Fraud Action Brought by the Commodity Futures Trading Commission
Florida Federal Court Issues Order Freezing Assets of Miami Beach Resident Joerg Heierle and Swiss Corporation INH-Interholding SA
U.S. Commodity Futures Trading Commission Files Action in Florida Federal Court Against Tampa Resident Edward J. Evors Alleging Misappropriation of Customer Funds
U.S. Commodity Futures Trading Commission Charges Slovak Republic Citizen, Maros Miklas, with Electronic Trading Fraud
Minnesota Federal Court Orders the Release of Frozen Assets for the Payment of Restitution to Defrauded Customers in Action Brought by the Commodity Futures Trading Commission
Illinois Federal Court Freezes Assets of Lake Shore Asset Management Limited; Court Finds that the Lake Shore Common Enterprise Committed Fraud
U.S. Commodity Futures Trading Commission Files Action Against Futures Commission Merchant Nations Investments, LLC, for Failure to Maintain the Minimum Amount of Net Capital Required by Federal Law
Florida Federal Court Sanctions Several South Florida Foreign Currency Options Boiler-Rooms, Brokerage Firms, and Ten Florida Individuals for Defrauding Customers